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← Series 63: Remedies & Administrative Provisions
Series 63 practice questionmediumCriminal Penalties — Burden of Proof Comparison

During a registration workshop, the instructor adds this setup first. Assume all filings and notices are evaluated under the USA. In a civil action under the USA, the plaintiff must meet which burden of proof?

  1. APreponderance of the evidence✓ Correct answer
  2. BBeyond a reasonable doubt
  3. CClear and convincing evidence
  4. DProbable cause
Explanation

Why A — Preponderance of the evidence

Civil actions under USA Section 410 require the plaintiff to prove the case by a preponderance of the evidence, meaning it is more likely than not that the violation occurred. This is a lower standard than the "beyond a reasonable doubt" standard required in criminal prosecutions. The governing USA principle is unchanged even though the framing is different.

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